DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P••••••• W••••• M•••••••••

Former SEC-registered adviserWoodbury, MinnesotaCRD 110304SEC 801-58276IAPD
Legal name P••••••• P•••••••• I•••
Latest filing Jun 27, 2019
First filing on the tape Feb 15, 2012 · 22 filings
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$241M as of Mar 26, 2019
Feb 15, 2012$131M then
HNW client RAUM$183M as of Mar 26, 2019
Mar 23, 2018$167M then
State-registered IARs (5.B.3)3 as of Mar 26, 2019
Feb 15, 20120 then
Employees (5.A)5 as of Mar 26, 2019
Mar 12, 20136 then
Private funds: no history
RAUM -8.5% over the last fiscal year-1.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 27, 2019; every figure names its basis
RAUM per advisor
$120MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
174derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$265,793derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.5%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$183M76%
  • Individuals$58.1M24%
Individual clients
214reported
HNW clients
133reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
906reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• J•••••• E••••• · Ownercontrol
    since 08/2017 · owns 75% or more
  • R•••• D•••••• J••• · Ccocontrol
    since 06/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 2
    Mar 26, 2019 to Jun 14, 2019
  • Employees · 5 to 3
    Mar 26, 2019 to Jun 14, 2019
  • State-registered IARs · 3 to 2
    Mar 26, 2019 to Jun 14, 2019
  • Accounts · 945 to 906
    Mar 23, 2018 to Mar 26, 2019
  • Advisory employees · 2 to 3
    Mar 23, 2018 to Mar 26, 2019
  • HNW clients · 88 to 133
    Mar 23, 2018 to Mar 26, 2019
  • Individual clients · 266 to 214
    Mar 23, 2018 to Mar 26, 2019
  • Assets in custody · 176374895.0 to unset
    Mar 23, 2018 to Mar 26, 2019
  • Custody of client assets · true to false
    Mar 23, 2018 to Mar 26, 2019
  • Employees · 4 to 5
    Mar 23, 2018 to Mar 26, 2019
  • Financial planning clients · 11-25 to 251-500
    Mar 23, 2018 to Mar 26, 2019
  • State-registered IARs · 2 to 3
    Mar 23, 2018 to Mar 26, 2019
  • Discretionary RAUM · $261M to $241M
    Mar 23, 2018 to Mar 26, 2019
  • HNW RAUM · $167M to $183M
    Mar 23, 2018 to Mar 26, 2019
  • Individual RAUM · $96.2M to $58.1M
    Mar 23, 2018 to Mar 26, 2019
  • Non-discretionary RAUM · $2.5M to $0
    Mar 23, 2018 to Mar 26, 2019
  • RAUM · $263M to $241M
    Mar 23, 2018 to Mar 26, 2019
  • Accounts · 1,112 to 945
    Sep 8, 2017 to Mar 23, 2018
  • HNW clients · unset to 88.0
    Sep 8, 2017 to Mar 23, 2018
  • Individual clients · unset to 266.0
    Sep 8, 2017 to Mar 23, 2018
  • Assets in custody · unset to 176374895.0
    Sep 8, 2017 to Mar 23, 2018
  • Custody of client assets · false to true
    Sep 8, 2017 to Mar 23, 2018
  • Employees · 7 to 4
    Sep 8, 2017 to Mar 23, 2018
  • Other offices · unset to 0.0
    Sep 8, 2017 to Mar 23, 2018
  • Discretionary RAUM · $219M to $261M
    Sep 8, 2017 to Mar 23, 2018
  • HNW RAUM · unset to 167029690.0
    Sep 8, 2017 to Mar 23, 2018
  • Individual RAUM · unset to 96187531.0
    Sep 8, 2017 to Mar 23, 2018
  • Non-discretionary RAUM · $0 to $2.5M
    Sep 8, 2017 to Mar 23, 2018
  • RAUM · $219M to $263M
    Sep 8, 2017 to Mar 23, 2018
  • Advisory employees · 4 to 2
    Jul 18, 2017 to Sep 8, 2017
  • State-registered IARs · 4 to 2
    Jul 18, 2017 to Sep 8, 2017
  • HQ city · LAKE ELMO to WOODBURY
    Apr 19, 2017 to Jun 7, 2017
  • BD registered reps · 4 to 0
    Mar 10, 2017 to Apr 19, 2017
  • Commission compensation · true to false
    Mar 10, 2017 to Apr 19, 2017
  • Related broker-dealer · true to false
    Mar 10, 2017 to Apr 19, 2017
  • Accounts · 720 to 1,112
    Dec 22, 2016 to Mar 10, 2017
  • Advisory employees · 3 to 4
    Dec 22, 2016 to Mar 10, 2017
  • BD registered reps · 3 to 4
    Dec 22, 2016 to Mar 10, 2017
  • Employees · 10 to 7
    Dec 22, 2016 to Mar 10, 2017
  • Financial planning clients · 251-500 to 11-25
    Dec 22, 2016 to Mar 10, 2017
Signals
1 dated events
  • Eileen Judith Blossom (Owner) appeared on Schedule A of P••••••• W••••• M•••••••••
    Jun 14, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026